10/12/2017 | Content area:
A New York-based investment adviser reported to his clients last June total assets of at least $21.8 million. Authorities allege the reality was decid...
4/27/2017 | Content area:
Making $6,000 in under 10 minutes would make a lot of people’s day.
The problem for Kevin Amell is that that option trade was based on fraud, accord...
1/05/2015 | Content area:
Surveillance for all equities and options trading in the U.S. will be done by FINRA. As of this year, the SRO began to provide market surveillance, fi...
8/09/2013 | Content area:
This Risk Alert encourages awareness of options trading activity that could be used to avoid complying with the close-out requirements under Reg SHO. ...
4/09/2004 | Content area:
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-49175; File No. S7-07-04RIN 3235-AJ15Competitive Developments in the Options MarketsA...
7/31/1998 | Content area:
Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund